Broker-Dealers

FINRA found that firm's written procedures failed to identify who was responsible for conducting supervisory reviews of principals' e-comms

The NYSE proposes to enable the trading during the pendency of a pilot program to be operated by the Depositary Trust Company

New standards to replace outdated day trading requirements that were adopted nearly a quarter of a century ago

Continued pressure from SROs and other market participants has led the SEC to conduct a comprehensive review of the CAT

She poses a number of questions she hopes industry will answer via the comment process

There’s no doubt the impact of social media on investors is ever growing, fueled, in part, by the rise of finfluencers

The firm's WSPs provided that when a minor beneficiary of an UTMA account reaches the age of majority or alternative age of termination, the custodian ...

Taking steps to retain an outside consultant after four audits flagged system issues that hampered effective surveilling for potentially violative insider trading is a productive, ...

There have been several developments since the Commission last evaluated the scope and sufficiency of these audit trails and related data sources. These developments have ...

This CFTC order permits joint clearing members of the Chicago Mercantile Exchange and the Fixed Income Clearing Corporation that are dually registered as SEC broker-dealers ...